Compliance Outsourcing Services

Partner with Bates Compliance to ensure that your compliance program is running smoothly and operating efficiently. Whether you represent a single-member firm or an entire compliance department, partnering with Bates Compliance provides you with peace of mind that all the regulatory filings are up-to-date and that your compliance program will meet and exceed regulatory scrutiny.

We know that no two advisers are the same—that is why Bates Compliance creates a custom outsourcing program to meet your firm’s specific needs and never tries to fit you into a pre-determined “package.”

Bates Compliance Outsourcing services can include:

  • Prepare, amend, or renew your federal and state regulatory documents
  • Develop and/or maintain model code of ethics and insider trading policies
  • Review your website, advertising, and marketing materials
  • Review contracts
  • Review business practices
  • Conduct custody assessment services
  • Develop and offer updates to supervisory procedures
  • Perform a compliance audit
  • Perform a due diligence review
  • Act as your IARD account representative and file the annual amendment
  • Form ADV reviews and revisions
  • Mock SEC preparatory exams
  • SEC examination preparation and assistance
  • Conduct Rule 206(4)-7 annual reviews

If you are currently considering utilizing an outside compliance consultant, contact Bates Compliance first, and let us put together a customized compliance engagement specifically designed for your firm's needs. Discover the Bates Compliance Difference.

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group

Automat:ee